Communications to Firms
Stay current on FINRA’s communications about timely regulatory issues, including Board of Governors meeting updates, the annual examination priorities letter and issues of importance to small firms.
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July 10, 2014 Update: FINRA Board of Governors Meeting Rulemaking topics discussed include: NMS Plan regarding minimum quoting and trading increments and TBA market - proposed amendments to FINRA Rule 4210 (Margin Requirements) |
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May 14, 2014 Small Firm Advisory Board Email to Small Firms Topics of this email include: background checks; additional CRD data in BrokerCheck; and retrospective review of advertising, gifts and gratuities and non-cash compensation rules. |
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April 24, 2014 Update: FINRA Board of Governors Meeting Rulemaking topics discussed include: background investigations; customer account statements; panelist pool expansion for disciplinary hearings; and public repository of FINRA Form 211 information. |
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February 13, 2014 Update: FINRA Board of Governors Meeting Rulemaking topics discussed include: BrokerCheck link in online retail communications with the public; definitions of public and non-public arbitrators; expungement of customer dispute information; and temporary cease and desist orders, expedited proceedings. |
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January 2, 2014 2014 Regulatory and Examination Priorities Letter Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs. |
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December 6, 2013 Update: FINRA Board of Governors Meeting Rulemaking topics discussed include: arbitration fees to increase arbitrator honoraria, personal confidential information documents parties file with dispute resolution, funding portal fees, limited corporate financing brokers rule set, OTC reporting facility fees, quotation activities in unlisted securities, rate reimbursement provisions for proxy and other issuer-related materials, and TBA market margin requirements. |
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October 22, 2013 A Few Minutes With FINRA—Conflicts of Interest Rick Ketchum, FINRA’s Chairman and CEO, provides background information on FINRA’s recent Report on Conflicts of Interest and discusses what firms should be thinking about with respect to managing conflicts. (8 min. 3 sec.) |
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September 19, 2013 Update: FINRA Board of Governors Meeting Rulemaking topics discussed include: Alternative Display Facility, Alternative Trading System (ATS) aggregate volume data fee, disclosures related to recruitment practices and account transfers, and equity trade reporting. |
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July 11, 2013 Update: FINRA Board of Governors Meeting Rulemaking topics discussed include: ATS reporting and transparency, BrokerCheck, debt research, dissemination of additional asset-backed securities transactions, funding portal rules, and Uniform Branch Office Registration form (Form BR). |
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June 11, 2013 A Few Minutes With FINRA—FINRA Rulemaking Updates Robert Colby, FINRA's Chief Legal Officer, explains the process for periodic review of FINRA rules, discusses next steps in FINRA's conflicts review project and provides an update for limited-purpose broker-dealers. (9 min. 4 sec.) |